Additional Investment Adviser Services

• Investment Adviser Registration Services
• Investment Advisor Web-Based Seminars (Continuing Education)
• Annual Renewals
• Annual Updating Amendments
• Notice Filings
• State Filings
• IAR Registrations/Terminations
• Response to State or SEC Request Letters
• On-Site Audits
• Off-Site Audits
• Exam Waiver Request
• DRP Disclosure
• Contract Review
• Solicitor Registration
• Performance Based Fee Language
• Form ADV Preparation/Review/ and Revision
• Consultations & Amendments
• IARD Input
• SEC Transition
• SEC / State Withdrawal (ADV-W)
• Web Site Compliance Review
• Disclosure Language for Affiliation with a Broker-Dealer
• Filing of FORM U-10 on Behalf of Client to Open Exam Window
• Buying or Selling Your Practice

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